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Regulation

IS Prime Hong Kong Secures SFC FX Trading License

  • The prime of prime broker secured the license from the SFC.
Thursday, 16/01/2020 | 08:30 GMT by Celeste Skinner
Brokers

TigerWit Gets Financial Services License from Hong Kong’s SFC

  • The acquisition of the license is in line with the company’s plans for expansion.
Monday, 13/01/2020 | 09:35 GMT by Celeste Skinner
Regulation

SFC Fines Fidelity Hong Kong for Unlicensed $40bn Trades

  • FIMHK had also submitted incorrect information to the SFC when applying for a new fund authorization in 2017.
Monday, 30/12/2019 | 13:42 GMT by Aziz Abdel-Qader
Analysis

DX.Exchange Stops Operations, eToro Buys Delta: Editor’s Pick

  • Keep up to date with the most interesting news stories in the FX and crypto space.
Sunday, 10/11/2019 | 08:16 GMT by Celeste Skinner
News

AAX Goes Live in Hong Kong Despite SFC’s Warning on Crypto Futures

  • The exchange is planning to introduce Bitcoin and Ether futures contracts.
Thursday, 07/11/2019 | 11:10 GMT by Arnab Shome
News

SFC Unlikely to Approve Crypto Futures, Issues Warning

  • The agency is unlikely to grant permission to companies offering such services.
Wednesday, 06/11/2019 | 13:35 GMT by Arnab Shome
Regulation

Hong Kong Brings Regulatory Framework for Crypto Exchanges

  • The laws will try to mitigate the concerns associated with such companies.
Wednesday, 06/11/2019 | 09:55 GMT by Arnab Shome
News

Hong Kong SFC Reluctant to Issue License to Crypto Funds

  • The exact number of fund managers with the license is not known.
Tuesday, 05/11/2019 | 13:08 GMT by Arnab Shome
Regulation

Hong Kong’s SFC Signs MoU with ICAC to Fight Financial Crime

  • The MoU aims to strengthen collaboration between the two entities in order to combat illegal activity.
Monday, 19/08/2019 | 11:22 GMT by Celeste Skinner
Regulation

SFC Reprimands, Fines Sincere Securities for Internal Lapses

  • Some client order instructions were received through mobile phone applications, such as WhatsApp messenger,says the regulator.
Thursday, 15/08/2019 | 14:52 GMT by Aziz Abdel-Qader
Regulation

SFC Suggests that Merrill Wealth is Merrill Lynch Clone Firm

  • The entity has been listed on the regulator’s warning page as a “suspicious website.”
Thursday, 25/07/2019 | 12:25 GMT by Celeste Skinner
Regulation

SFC Also Fights Against Clone Firms, Exposes Fake CITIC Bank

  • The Hong Kong regulator has recently made fighting against financial fraud its top enforcement priority.
Thursday, 18/07/2019 | 16:03 GMT by Aziz Abdel-Qader
Regulation

Tim Leissner Banned for Life by Hong Kong SFC

  • The ex-Goldman Sachs banker is facing over ten years in prison for his role in the 1MDB scandal
Wednesday, 03/07/2019 | 12:19 GMT by David Kimberley
Analysis

The Comeback - Deutsche Bank & US FX Market: Editor’s Pick

  • Catch up on some of the top stories in the FX and crypto space this past week.
Sunday, 23/06/2019 | 09:59 GMT by Celeste Skinner
Regulation

SFC Hits Credit Suisse with $2.8M Fine for Disclosure Lapses

  • Some of the violations stretch back more than a decade, with one reprimand over a failure going back to 2006.
Wednesday, 19/06/2019 | 19:00 GMT by Aziz Abdel-Qader
Regulation

SFC Warns Retail FX Brokers Not to Do Business in China

  • The regulator said Hong Kong brokers may have been targeting Mainland clients illegally
Monday, 17/06/2019 | 11:20 GMT by David Kimberley
Regulation

Hong Kong's SFC Fines, Bans Ex-CGIS Director For Insider Trading

  • The SFC wants to send a strong message to deter others from committing similar offenses, the regulator said.
Thursday, 16/05/2019 | 21:49 GMT by Aziz Abdel-Qader
Execution

Nine Masts Capital Fined in Hong Kong for Naked Short Selling

  • Naked shorting refers to selling shares that were were not available for trading or confirmed to exist.
Thursday, 18/04/2019 | 20:16 GMT by Aziz Abdel-Qader
Regulation

Hong Kong’s Regulator Warns Against Huanying International

  • Huanying International offers its FX services through a separated brand called Circleforex.
Friday, 12/04/2019 | 19:34 GMT by Aziz Abdel-Qader
News

SFC Issues Warning Against Investing in STOs

  • STOs should comply with the existing securities laws in Hong Kong.
Thursday, 28/03/2019 | 13:03 GMT by Arnab Shome
Regulation

SFC CEO: Asset Managers Must Clarify How They Look at ESG

  • Ashley Alder's announcement is indicative of wider regulatory moves to bolster environmentally friendly investment
Friday, 22/03/2019 | 14:07 GMT by David Kimberley
Regulation

Bank of China Subsidiary Fined HKD 10 Million by SFC

  • BOCI Securities breached a number of regulations related to the sale of investment products
Monday, 18/03/2019 | 10:47 GMT by David Kimberley
Regulation

SFC Fines UBS $48 Million, Suspends HK Subsidiary License

  • Standard Chartered was also fined, as both companies failed to meet compliance standards surround IPO sponsorship
Thursday, 14/03/2019 | 12:28 GMT by David Kimberley
Regulation

SFC Suspends License of Ex-China Merchants Securities Banker

  • The Hong Kong regulator says that Wu Yinong failed to meet compliance standards relating to a 2009 IPO
Wednesday, 27/02/2019 | 14:49 GMT by David Kimberley
Regulation

SFC Increases No. of Regulated Corporations by 10 percent in 2018

  • The Hong Kong regulator also issued fines totalling $290,000
Friday, 22/02/2019 | 11:37 GMT by David Kimberley
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